Robert Nevarez
Robert Nevarez is a registered investment advisor at Dempsey Lord Smith, LLC, based in Brea, CA, with 24 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 2,731 clients with $580M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Dempsey Lord Smith offers several ways to manage your investments:
- Portfolio Management: DLS manages your investments directly, buying and selling securities as they see fit.
- Model Portfolio Management: DLS uses pre-built investment models (Growth & Income, Income, ETF/Mutual Fund) to manage your portfolio.
- Wealth Management Platform: DLS uses third-party asset managers through the Fidelity Managed Account Solutions Program or DLS's own wrap fee program.
- Advisor Referral Program: DLS refers you to a third-party asset manager.
The maximum annual fee for portfolio management is 2.50% (2.00% in Alabama). The specific fee is negotiable. DLS receives a portion of the fee collected by third-party asset managers.
Location
Brea, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2021Other Business ActivitiesSells Insurance
Robert is a financial advisor and president of Nevarez Wealth Management DBA, focusing on investments, insurance, and financial planning, dedicating full-time hours. He also owns 100% of Pacific Coast Advisors, LLC, a checking account used for business expenses, requiring minimal time, and spends full-time hours giving financial and investment advice at HN Financial Group.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Cetera Wealth Services, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research, INC.
Previous Registrations
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLC
Dempsey Lord Smith, LLCBroker
National Asset Management, INC.
National Securities CorporationBroker
LPL Financial Corporation
LPL Financial CorporationBroker
Aig Financial Advisors, INC.
Independent Capital Management
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
Edward JonesBroker
World Group Securities, INC.Broker
Wma Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.